Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Two Texans Convicted in Ponzi Scheme Tied to Ex-San Antonio Advisor
By Dinah Wisenberg BrinThe trio, prosecutors say, conspired to mislead the victims concerning the security of the investments and concealed their high commissions.
August 20, 2026
IRS Updates FAQ on Business Interest DeductionThe new guidance reflects changes made under last year's One Big Beautiful Bill Act.
August 20, 2026
Franklin Plans to Push Tokenized Assets Into Traditional FundsThe firm is aiming to use its tokenized money-market fund inside ETFs and mutual funds, after SEC approval.
August 20, 2026
IRS Floats Regs on Eligible Trump Account InvestmentsEligible investments must be broad-based, low-fee stock index funds or ETFs, the proposed framework states.
August 19, 2026
FINRA Bars Rep for Using 'Internet-Enabled' Glasses to Cheat on ExamJacob Spencer used eyeglasses with electronic modifications to access Series 6 material online, an order states.
August 19, 2026
Ex-Fifth Third Securities Rep Let Employees Complete His CE Requirements: FINRATwo junior staffers handled about 20 courses for Robert Kyle Averwater by logging onto his computer, an order states.
August 19, 2026
Raymond James Hit With $125K Fine Over Fractional SharesThe firm failed to report approximately 2.56 million fractional share liquidations, according to FINRA.
August 18, 2026
PRO
How to Keep Clients Out of Medicare Plan DramaSome years, all paths are pleasant. That's probably not the case this year.